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Head of Compliance

PGIM Dublin, Ireland
Posted 8 days ago Permanent Competitive
We are looking for an astute, determined professional like you to fulfill a critical position within our Compliance department. The role will be based in Dublin to serve as the Compliance Officer for PGIM's UCITS fund range and other European investment funds. The team's activities focus on:
(i) operational support for the day-to-day activities of the funds including on-going supervision of outsourced service providers;
(ii) development, management, and servicing of the distribution relationships;
(iii) management of the governance requirements of the funds; and
(iv) maintenance and development of the fund structure from a legal, compliance and regulatory perspective.
You will showcase your success through collaboration, ownership and innovation. Your expertise in emerging trends and practices will evoke stimulating discussions around optimization and change to help keep our competitive edge. This rewarding opportunity will enable you to make a big impact in our organization, so if this sounds exciting, then PGIM might be the place.

Your Impact:
This position will be based in Dublin and report into the Head of Office of a newly established management company - PGIM Investments (Ireland) Limited. Key responsibilities for the role:

• Lead day-to-day compliance activities for PGIM's UCITS platform and serve as the Compliance Officer and Designated Person for Regulatory Compliance for CP86 purposes;
• Serve as the Money Laundering Reporting Officer for the UCITS Management Company.
• Participate in the quarterly UCITS Management Company Board meetings and provide quarterly written compliance reports to the firm's Board of Directors;
• Participate in the quarterly UCITS Fund Board meetings and provide quarterly written compliance reports to the firm's Board of Directors;
• Regularly performing a compliance risk assessment to enable a risk-based approach when determining the scope of the compliance monitoring programme;
• Develop and implement compliance policies, procedures and training, and monitoring and testing programs for the UCITS and QIF platform;
• Manage product compliance issues related to the UCITS/QIF platform;
• Identify potential areas of compliance vulnerability and risk;
• Monitor regulatory developments related to UCITS/QIF funds and implementing regulatory changes;
• Perform risk assessments of the compliance program for UCITS/QIF funds;
• Liaise with all fund service providers in the United States and Europe;
• Interfacing with regulators with respect to any examinations or inquiries;
• Participate in the review and approval of marketing and paid and earned media literature related to our platform, which often requires cross-jurisdictional interpretation and collaboration with internal/external subject matter experts;
• Oversee compliance with country licensing and registration requirements;
• Provide support and advice to the business and compliance colleagues on compliance and regulatory matters; and
• Support other members of the global compliance team with compliance-related activities as required.

You will work with a team of other compliance professionals in other PGIM offices who support our businesses.

Your Required Skills:
• Extensive Knowledge of the Central Bank of Ireland's UCITS and AFIMD regulations as well as other global regulatory regimes impacting UCITS.
• Minimum 8-10 years of relevant Compliance experience.
• Previous experience with daily oversight of UCITS and QIF funds.
• Excellent communicator with ability to communicate effectively with internal and external stakeholders.
• Experience with cross border wholesale (retail) distribution of UCITS.
• Strong management and collaboration skills. Ability to operate within an international environment with a diversity of cultures.
• Ability to adapt with rapidly changing priorities and to manage competing tasks in a dynamic environment.
• Flexible, strong and self-assured personality. Demonstrates a sense of urgency, speed, and efficiency.
• Builds connection and trust both within the function and across stakeholders.
• Forward-looking and thinks beyond the problem in front of them.
• Comfortable with ambiguity and has the dexterity to adjust as needed.
• Graduate or relevant experience/regulatory approval.
• Must meet minimum requirements of Central Bank of Ireland fitness and probity rules in respect of a PCF holder.
-PGIM Ireland is proud to be an equal opportunity employer and is committed to equal employment opportunity regardless of applicants' gender, civil status, family status, sexual orientation, religion, age, disability, race or membership of the traveler community. PGIM Ireland's aim is to hire the best people for the open roles and all appointments will be made on merit.

Any offer of employment made by PGIM Ireland will be contingent on receiving satisfactory references. Applicants should be aware that background checks will be carried out on all candidates offered a position within PGIM Ireland.

PGIM Ireland has been awarded the IBEC Keep Well Accreditation Mark, this is in recognition of our commitment to making our employees wellbeing a priority.

Job ID  R-111498
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